Effective immediately, the Employee and Labor Relations Manual (ELM), subchapter 870, Employee Assistance Program, is revised to update Postal Service™ procedures.
Employee and Labor Relations Manual (ELM)
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8 Safety, Health, and Environment
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870 Employee Assistance Program
[Revise 870 as follows:]
871 Introduction
871.1 Purpose
871.11 General
The Employee Assistance Program (EAP) is a formal, voluntary, non-disciplinary program designed to assist employees and their immediate families in their efforts to resolve personal issues that may impact adversely on work performance, personal well-being, or both. Issues may include, but are not limited to: (a) substance abuse; (b) mental health issues such as depression, anxiety, and stress; and (c) issues that involve family, marital, financial, and legal concerns. Assistance is provided through consultation, evaluation, counseling, and referral to community resources and treatment facilities.
871.12 Substance Abuse, Dependence, and Other Addictions
Substance abuse, dependence, and other addictions are serious health problems that can adversely affect an employee’s job performance and personal life. EAP continues the Postal Service’s obligation under its collective bargaining agreements to provide a program for employees with these problems. EAP is not intended to alter or amend any of the rights or responsibilities of the Postal Service or its employees.
871.2 Definitions
Special terms used in this subchapter include the following:
a. EAP counselor — external EAP counselors must have: (1) a master’s or doctorate degree from an accredited college or university recognized by the relevant professional association in a clinical mental health field; and (2) a current state license or state certification to practice as a mental health practitioner. External EAP counselors must also meet any other requirements of the relevant interagency agreement or contract.
Note: These requirements do not uniformly apply to the Joint Committee Employee Assistance Programs using internal counselors (see Occupation Codes 01804018, 01804019, and 01804020).
b. External EAP service provider — an individual or group external to the Postal Service that provides EAP services through an interagency agreement or on a contractual basis.
c. Family member — any legal dependent of the employee, or anyone living in the employee’s household, with the exception of tenants or employees of the Postal Service employee who live in the household.
d. Internal EAP — an employee assistance program whose counselors are employed by the Postal Service.
e. Management referral — the referral of an employee to EAP by a supervisor or manager because the manager notices behavior that may indicate work performance issues or personal problems.
f. Other addictions — not addiction to drugs or alcohol, but addictive behaviors that may include excessive gambling, eating, and Internet use as well as hypersexuality.
g. Other problems — problems such as depression, anxiety, gambling, and stress as well as emotional, family, marital, financial, and legal problems.
h. Self-initiated referral — an employee’s voluntary referral of him- or herself for assistance from EAP, made by directly contacting an EAP counselor.
i. Substance abuse — the excessive use of a substance, especially alcohol or a drug, that results in recurring negative life consequences, such as (1) interpersonal conflicts; (2) failure to meet work, family, or school responsibilities; or (3) legal problems.
j. Substance dependence — commonly referred to as an addiction, it is characterized by: (1) a need for increasing amounts of a substance to maintain desired effects; (2) withdrawal symptoms if drug-taking stops; and (3) preoccupation with activities related to substance use.
871.3 Policy
871.31 Job Security
Participation in EAP is voluntary and will not jeopardize the employee’s job security or promotional opportunities.
871.32 Limits to Protection
Although an employee’s voluntary participation in EAP counseling should be given favorable consideration in disciplinary action, participation in EAP does not limit management’s right to proceed with any contemplated disciplinary action for failure to meet acceptable standards of work performance, attendance, or conduct. Participation in EAP does not shield an employee from discipline or from prosecution for criminal activities.
871.33 Confidentiality
Inquiries regarding participation in EAP counseling are confidential, pursuant to the provisions of 874.4. EAP records may not be placed in an employee’s official personnel folder (OPF).
871.34 Reasonable Access
The contractor providing counseling must endeavor to provide confidential counseling facilities within a reasonable driving distance from the employee’s work site or home, in accordance with the following guidelines:
a. The Postal Service will provide office space and furnishings for those sites that require counselors to be in postal locations.
b. Providing ready accessibility to face-to-face EAP counseling is desirable, but may not always be possible. Counselors may offer telephone counseling or request that the employee travel to the counselor’s office.
c. Reasonable hours and days, including coverage of all three tours, will be set by mutual agreement between the EAP consultant and the Human Resources manager.
d. Counselors may adjust their schedules to respond to crisis situations and to meet other needs, such as providing information sessions and visiting facilities.
871.35 Scheduling
The following guidelines apply to scheduling and whether EAP sessions take place on or off the clock:
a. An employee’s first visit to EAP is on the clock, whether the visit is initiated by management, the union representative, or the employee (unless the employee prefers to visit the EAP unit on his or her own time).
b. Subsequent consultations are on the employee’s own time.
c. If a reasonable period of time has elapsed since a management referral or a previously disclosed self-referral, the manager or supervisor may, on a case-by-case basis, approve an additional on-the-clock session.
d. To receive pay for an on-the-clock session, the employee must authorize the EAP provider to disclose his or her attendance to management.
872 Program Elements
872.1 Education
EAP counselors and subcontract counselors must provide information, training, or both periodically for all Postal Service employees to inform them about EAP services and the kinds of personal problems that can affect job performance or conduct.
872.2 Problem Identification, Referrals, and Evaluation
872.21 Patterns of Behavior and Work Performance Problems
Certain patterns of behavior and/or work performance can be indicative of problems affecting an employee. Deterioration in attendance, appearance, conduct, ability, or any combination of these factors may signal that the employee is experiencing a personal problem that may affect his or her job performance. These problems may include depression, anxiety, gambling, emotional stress, and marital problems as well as substance abuse, dependence, or other addictions.
872.22 Referrals to EAP
872.221 Management Referrals
If a supervisor or manager observes any of the patterns listed in 872.21 or has some other reason to believe that EAP could provide needed assistance to an employee, he or she may refer the employee to EAP.
Since participation is voluntary, the employee has the option to refuse the referral and cannot be disciplined for noncompliance.
If an employee has signed a Last Chance or Settlement Agreement that requires EAP participation, the employee can be disciplined for noncompliance under the terms of the agreement.
872.222 Referrals From Others
Fellow employees, union representatives, management association representatives, medical personnel, family members, or judicial and social service agencies may refer employees to EAP. However, if any of these suggest or recommend that the employee seek EAP assistance, participation is always voluntary.
872.223 Self-Referrals
Employees who want help with any personal problem or concern are encouraged to seek assistance directly by personally contacting EAP.
872.224 EAP Response
The following requirements apply:
a. EAP counselors must accept all referrals.
b. Face-to-face or telephone interview appointments must be available within a reasonable period from the time the request is made by the employee or family member.
c. Face-to-face and telephone appointments for urgent situations must be made consistent with need, regardless of the counselor’s regularly scheduled hours.
d. Crisis counseling must be available by telephone 24 hours a day, 365 days a year.
872.23 Problem Evaluation
EAP counseling staff provide assessment services and arrange counseling for employees or family members or refer them to appropriate treatment resources.
872.3 Recovery Counseling and Resources
872.31 EAP Counseling Units
EAP units are staffed by EAP professionals trained to counsel and provide referral services to individuals who seek their assistance. Postal Service EAP units are not equipped to provide detoxification or drug rehabilitation assistance, but they can make referrals to outside programs and treatment facilities for these problems. To provide convenient, ready access to EAP counseling services for all Postal Service employees and their family members, a network of similarly qualified and capable affiliate counselors is available to provide EAP counseling services at other locations.
872.32 Residential and Community Resources
EAP counseling service providers:
a. Maintain information about a variety of outside programs, treatment facilities, and resources available to employees and family members.
b. Provide assistance with initial arrangements and appointments.
The cost of these programs or treatment facilities is borne by the employee or by the employee’s health insurance (pursuant to terms of the policy). In cases for which hospitalization or detoxification is recommended, the employee is responsible for requesting sick leave, leave without pay, annual leave, or advanced sick leave.
872.4 Follow-Up
872.41 Progress
If a manager or a supervisor has referred an employee to EAP counseling because of a job performance problem, that manager or supervisor shall continue to monitor the employee’s job performance.
872.42 Discontinuance of Participation
Whether an employee opts to continue or discontinue participation in EAP counseling, he or she is responsible for maintaining prescribed job performance standards.
872.43 Return to Work
If an employee is on leave from the Postal Service to participate in an outside rehabilitative program for mental health or substance abuse issues, the EAP counselor may, upon the employee’s request and authorization, monitor the course of rehabilitation and assist in any contemplated return to work.
872.5 Program Evaluation
EAP must be evaluated annually or more often, as needed. The purpose of these evaluations is to measure the efficiency and effectiveness of the program and to ensure that it is operating within established policy.
873 Reinstatement of Recovered Employees
873.1 Policy
873.11 Consideration of Request
Managers should give serious consideration to a request for reinstatement from a recovered employee because the experience gained during previous postal employment could be a valuable asset to the Postal Service.
873.12 Consideration of Other Factors
In reviewing reinstatement requests, local management must consider the following factors:
a. The former employee’s Postal Service work history.
b. The nature of the charges that led to removal or resignation.
c. The eligibility factors set forth in ELM 873.2 and in Handbook EL-312, Employment and Placement.
873.13 Exceptions to Consideration for Reinstatement
When a former employee’s record reflects a criminal conviction or pending criminal charges, the procedures outlined in Handbook EL-312, Chapter 5, Suitability, must be followed. In addition, exceptions to reinstatement consideration are made when an employee has been removed from the Postal Service for any of the following reasons:
a. Theft of mail or Postal Service property.
b. Possession or sale of drugs while on duty.
c. Fraud against the Postal Service.
d. Assaults or threats against Postal Service personnel.
873.2 Eligibility
873.21 Procedures
Reinstatement of an individual whose removal or resignation from the Postal Service is related to alcoholism, dependency on drugs, or other problems may be considered when the individual:
a. Submits a written request for reinstatement, accompanied by a signed authorization to release information, indicating the employee’s written consent to a waiver of federal regulations on confidentiality restrictions.
b. Is willing to accept reinstatement on the basis of continuing to successfully participate in a course of care or activity based on an EAP counselor’s recommendation.
873.22 Management Responsibilities
Prior approval must be obtained before employing a former Postal Service or federal employee who:
a. Was removed from the Postal Service or other federal employment for cause; or
b. Resigned after being notified that charges proposing removal would be, or had been, issued.
Approval must be obtained from the district manager of Human Resources, the area manager of Human Resources, or the vice president of Employee Resource Management. For further information, see the Handbook EL-312, Employment and Placement, section on Handling Removals From Postal Service or Other Federal Employment.
873.3 Compliance With Agreements
If a former bargaining unit employee is reinstated to a bargaining unit position, employing officials must comply with all relevant provisions of applicable collective bargaining agreements in determining the employee’s seniority and other contractual rights.
874 EAP Counseling Records
874.1 Restricted Information
Restricted information is information with limitations on its access within the Postal Service and its disclosure outside the Postal Service consistent with the following federal laws:
a. The Privacy Act of 1974, as amended.
b. The Health Insurance Portability and Accountability Act (HIPAA) of 1996.
c. The Public Health Service Act of 1944, as amended (see 874.4).
874.2 Policy
Information about EAP counseling participants is restricted information, which must be held in confidence and is subject to disclosure only as described in 874.4 and pursuant to the provisions of the federal laws listed in 874.1.
874.3 Custodians of Records
874.31 Postal Service Providers
When EAP services are provided by Postal Service employee counselors, counseling records are maintained by the counselor within the Privacy Act system of records, USPS 120.140, Personnel Records — Employee Assistance Program (EAP) Records. These records are subject to Postal Service policy and regulations, as follows:
a. Provisions of the Privacy Act as set forth in:
(1) Title 39 CFR 266, Privacy of Information.
(2) Handbook AS-353, Guide to Privacy, the Freedom of Information Act, and Records Management (including the appendix, Privacy Act System of Records).
b. Provisions of HIPAA regarding access, disclosure, amendment, and maintenance of records.
874.32 Private Providers
When EAP services are provided through an interagency agreement or a private vendor, the following requirements apply:
a. Each EAP counseling service provider is responsible for maintaining records on participants.
b. These counseling records are the property of the primary provider and maintained in a system of records.
c. The primary provider must maintain policies and procedures for safeguarding the confidentiality of client data and files and may be liable under the law for improper release of such information.
d. The primary provider agrees to assert any privilege allowed by law and to defend vigorously Postal Service and employee rights to confidentiality.
874.4 Disclosure
874.41 General
874.411 Usual Recipients
Information identifying substance abuse program participants, whether or not such information is recorded, may be disclosed as follows:
a. To medical personnel to the extent necessary to meet a bona fide medical emergency involving the EAP participant.
b. To qualified personnel, with the express written authorization of the vice president of Employee Resource Management, for purposes of conducting scientific research or program audits or evaluation. However, under no circumstances may any personally identifiable information be disclosed in the resulting evaluation, research, or audit reports.
c. To a court, under the following circumstances:
(1) When authorized by a court order upon showing of good cause, such as when necessary to protect against an existing threat to life or threat of bodily injury, or in connection with the investigation or prosecution of a crime.
(2) In litigation or an administrative proceeding when authorized by the trier of fact, when the EAP participant offers testimony or other evidence pertaining to the content of his or her EAP participation. Counsel should be contacted for assistance in evaluating the court order and in determining the extent to which information must be released.
d. To any person when the EAP participant gives prior written consent to disclose information. This consent specifies the nature and scope of the topics to be released, to whom information is to be released, the purpose of the disclosure, and the date on which the consent terminates.
e. To a person in any situation in which the EAP counselor has a duty to warn.
f. To an expert, consultant, or other individual who is under contract to the Postal Service to fulfill an agency function, but only to the extent necessary to fulfill that function, and in accordance with the Privacy Act restrictions of 39 CFR 266.6.
874.412 Limitation of Disclosure
In all cases cited in 874.411, only information that is absolutely necessary to satisfy the recipient’s business or medical need is to be disclosed.
874.42 Criminal Activity
874.421 EAP Records
EAP counseling records or personnel may not be used to initiate or substantiate any criminal charges against an EAP participant or to conduct any investigation of a participant, except as authorized by a court order for good cause.
874.422 Limitation of Confidentiality
If an employee who is an EAP counseling participant reveals the commission or intended commission of serious criminal activity, the EAP counselor is not prohibited from disclosing that information so long as the employee is not identified as an EAP counseling program participant. Confidentiality does not apply in any of the following cases:
a. A crime is committed on EAP premises or against EAP counselor personnel, or a threat to commit such a crime is made.
b. Incidents occur in which information must be reported as required by state law; for example, mandatory reporting of child abuse and/or neglect (and elder/spouse abuse in some states).
c. For a disclosure that may be required by elements of the criminal justice system because they have referred employees who are EAP participants.
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We will incorporate the complete text of this revision into the next printed version of the ELM and into the online update available on the Postal Service PolicyNet website:
n Go to http://blue.usps.gov.
n Under “Essential Links” in the left-hand column, click PolicyNet.
n On the PolicyNet page, click Manuals.
(The direct URL for the Postal Service PolicyNet website is http://blue.usps.gov/cpim.)
— Employee Assistance/Workplace Environment
Improvement Programs,
Labor Relations, 00-00-00
